The following 240 items are listed by Content Data.
Articles
Future of Sustainability and ESG Standards With Janine Guillot, Value Reporting Foundation CEO
Protiviti’s Bob Hirth and Value Reporting Foundation CEO Janine Guillot sat down to discuss the agenda of the ISSB and t...
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Articles
Value Chain to Blockchain: AWS Energy Solutions Lead on Scope 3, “Data Obesity” and a Decarbonized Future
Protiviti sat down with Shy Muralidharan, worldwide energy solutions lead with Amazon Web Services, to discuss the futur...
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Articles
Greg Lindsay on the Way We Live Next – Audio Transcript
A look at the evolution urban areas are undergoing post-COVID and how those changes will alter cities over the next deca...
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Audit Programs
Disaster Recovery Audit Work Program
This tool contains four sample work programs that provide general steps organizations can use for performing a disaster ...
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Articles
Skyscrapers Circa 2030: What's Their Place in the Future City?
Here, we discuss the future of cities in 2030 and explore how skyscrapers are an important part of the conversation.
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Newsletters
Three Keys for CEOs: Relevance, Culture and Alignment
This issue of Board Perspectives explains three ways boards can be supportive in this era of unprecedented change.
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Methodologies & Models
Incident Management Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s incident management process and ...
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Articles
Pent-Up Demand in the U.S. Lifts Commercial Real Estate Short-Term
Protiviti’s Jon Critelli and Joe Kornik sat down to discuss the U.S. commercial real estate sector and how it’ll impact ...
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Newsletters
The Top Risks for the Next Decade: A Global Perspective (2022)
In this issue of Board Perspectives, we summarize seven key takeaways from our ninth annual risk survey and rank the hig...
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Articles
IPOs Cool Off: Q1 2022 IPO Trends
In this article, Audit Analytics looks at the major decrease in initial public offerings compared to 2021.
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Articles
Protiviti's Claire Gotham and Tyler Chase on Powering the City of the Future
As IoT grows exponentially, data platforms will become more important in ensuring that the energy needed to run a city i...
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Articles
Flying Taxis and Digital Twin Cities
Petra Hurtado, research director at American Planning Association (APA), sat down with Protiviti to discuss where she se...
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Articles
Going Concerns: A 21-Year Review
Audit Analytics examines select trends and statistics of going concerns filed with the Securities and Exchange Commissio...
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Benchmarking Reports
2022 Internal Audit Capabilities and Needs Survey
The results of our latest Next-Generation Internal Audit Survey reveal that two out of three internal audit functions wo...
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Performer Profiles
Masonite International Corporation: Opening Doors to the Possibilities of Resilience
Masonite Vice President and Chief Audit Executive Katie Shellabarger explains how her team’s focus on business resilienc...
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Methodologies & Models
Business Continuity Management Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s business continuity management p...
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Policies & Procedures
IT Contingency Planning Policy
The purpose of this policy is to ensure that information system resources and business processes are protected against s...
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Performer Profiles
Knowles Corporation: Tuning in Closely to Stakeholder Feedback
In this profile, Simon Ong, chief audit executive at Knowles Corporation, explains how his team’s collaborative approach...
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Checklists & Questionnaires
Business Continuity IT Process Questionnaire
This tool contains two IT questionnaire samples that can be used to assess an organization’s business continuity plannin...
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Performer Profiles
Inchcape plc: Finding Reward in Resilience – Internal Audit as a Beacon for the Future
In this profile, Inchcape’s Group Head of Internal Audit Joanna Sheppard shares how her team’s overarching view of the o...
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Newsletters
Ransomware: Analyzing Risk and Protecting Critical Assets
In this issue of Board Perspectives, we provide four ways boards can respond strategically to ransomware exposures.
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Regulatory Updates
Developments at and During COP26: The Second Week
In this Flash Report, we summarize developments during the second week of the UN Climate Change Conference of the Partie...
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Performer Profiles
Grupo Bepensa: Revolutionizing the Audit Process to Amplify Business Resilience
In this profile, Bepensa Audit Director Javier Humberto Cámara Cabrera explains how his team has applied specialized exp...
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Checklists & Questionnaires
Corporate Governance Compliance Questionnaire
The two sample questionnaires in this document focus on what boards and management should do as they work to improve cor...
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Regulatory Updates
Developments at and During COP26: The First Week
In this Flash Report, we offer suggestions for companies to consider in the aftermath of the first week of the UN Climat...
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Performer Profiles
GlobalFoundries: A “Laser Focus” on Strengthening Business Resilience
In this profile, Cary Haggard, chief audit executive at GlobalFoundries, explains how his team has enhanced organization...
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Performer Profiles
FIS: Leveraging the Power of Emerging Technology for Greater Assurance
In this profile, FIS Chief Audit Executive John Eagle shares how his team utilizes advanced technology to focus on ongoi...
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Benchmarking Reports
2021 Finance Trends Survey Report
Protiviti’s latest Global Finance Trends Report highlights how CFOs are shaping cybersecurity, long-term talent strategi...
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Checklists & Questionnaires
Business Continuity Compliance Questionnaire
This tool contains compliance-based questions to consider for evaluating the business continuity management process.
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Policies & Procedures
Vendor Risk Management Policy
This sample policy contains guidelines and procedures employees should follow when overseeing third-party entities.
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Policies & Procedures
Data Backup and Retention Policy
This tool contains three sample policies that highlight guidelines and procedures common to recognizing and retaining da...
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Performer Profiles
Centene Corporation: Resilience Stems From the Resolve to Help Others
Matt Snyder, senior vice president of internal audit, compliance and risk management at Centene, explains how his team’s...
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Articles
CFPB Provides Further Guidance on MSAs Under RESPA Section 8
In this article, we outline the CFPB’s compliance aid to provide regulated entities greater clarity around the Real Esta...
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Articles
Australia’s Responsible Lending Reforms: A Step in the Wrong Direction
A look at critical issues recently raised by Australia's Royal Commission and what steps lenders must take when providin...
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Regulatory Updates
Leveling the Playing Field for Third-Party Risk Management Requirements
In this Flash Report, we summarize the opportunities and key takeaways around third-party risk management lifecycle cons...
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Benchmarking Tools
Business Continuity Management Leading Practices
Organizations can use the leading practices outlined in this tool to measure and improve the business continuity managem...
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Articles
Transforming Delivery Through Value Streams
Protiviti's Evan Campbell and Sofia Hansen discuss how organizations can achieve the benefits of value streams by implem...
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Newsletters
Reimagining the Future Workplace: Ask the Right Questions to Move Forward
This issue of Board Perspectives poses 10 questions boards should ask themselves and management about the evolving workp...
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Articles
Skills and Scale — The New Finance Labor Model Proves Its Real-World Value
Here, we discuss the results of Protiviti's 2020 Finance Trends Survey and offer steps CFOs and finance leaders can take...
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Newsletters
The Future Workplace: Getting It Right
This issue of The Bulletin suggests four areas that will present important differentiators for success in articulating a...
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Articles
Business Continuity Programs: Beware of Complacency
Protiviti Managing Director Matthew Watson outlines the looming danger of post-COVID complacency.
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Articles
Managing Connected Devices in Today’s Evolving Business Environment
A look at how a managed service approach, developed in conjunction with IT, can be used to maintain an entire device lif...
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Benchmarking Tools
Privacy Program Leading Practices
This tool features several leading practices to consider when establishing a privacy program.
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Articles
New Survey Reveals Four Habits of Highly Resilient CFOs
Learn the four habits that CFOs should ingrain into their jobs, based on the top finance challenges and areas of focus r...
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Charters
Business Continuity Program Charter
This sample establishes guidelines for developing a business continuity program charter.
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Articles
Internal Controls Planning as Organizations Contemplate a Return to the Office
In this article, we cover three categories of control changes that companies should consider as they plan to resume in-p...
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Charters
Emergency Executive Committee Charter
This sample provides guidelines and responsibilities for creating an emergency executive committee charter (EEC).
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Benchmarking Reports
2020 Finance Trends Survey Report: The Transformation of Transactional Work
When comparing the findings of our latest global survey of finance trends to the results of prior years, one of the most...
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Articles
From Unprecedented Disruption, an Optimistic Vision for the Future
Protiviti’s Brian Christensen takes a look at audit's next chapter, underscored by the insights shared by audit leaders ...
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Audit Programs
System Post-Implementation Audit Work Program
This tool contains two sample audit programs designed to assess the usage, supporting information technology processes a...
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Articles
As Tech CFOs Escalate Return-to-Office Strategies, Opportunities to Innovate Abound
Here, we outline what the technology industry is doing to execute a safe and smooth return to the workplace.
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Articles
Counting on Cycle Counts? A Re-Think May Be in Order
To ensure the reliability of cycle counts and stave off the necessity for a full wall-to-wall inventory count at year-en...
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Benchmarking Reports
2021 Internal Audit Capabilities and Needs Survey
For most internal audit groups, the next-generation audit journey is just beginning. The results of our 2021 Internal Au...
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Articles
Pandemic-Driven Issues Complicating Tech CFOs’ 2021 Spending Decisions
A look at how chief financial officers can find creative ways in their budgets to keep employees happy and productive.
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Articles
Setting the 2021 Audit Committee Agenda: Your Questions Answered
Protiviti’s Chris Wright and Brian Christensen address some of the questions asked by attendees of a recent webinar on t...
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Newsletters
The Top Risks for the Next Decade: A Global Perspective (2021)
This issue of Board Perspectives summarizes seven key takeaways from Protiviti’s Executive Perspectives on Top Risks in ...
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Performer Profiles
SF Express: Digital Agile Audits Focus on Stakeholders’ Needs
Michael Lui, chief audit executive at SF Express, describes his team’s use of agile auditing to guide continuous innovat...
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Articles
SPACs Are Hot But Be Well Prepared — The SEC Is Watching
This article explains how special purpose acquisition company sponsors can mitigate potential liability related to publi...
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Articles
2021 Offers U.S. Oil and Gas Firms Challenges Laced With Opportunities
Based on the state of the industry at the start of 2021, Protiviti Managing Director Tyler Chase outlines challenges — a...
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Articles
SPACs Spotlight: Filings Trend Meets Fine Print in Latest SEC Statement
In this article, we examine what was buried in the footnotes of the SEC's latest Division of Corporation Finance stateme...
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Articles
To Meet Today’s Challenges, CAEs Must Stay Focused on Next-Gen Internal Audit Practices
This article explains how audit leaders can initiate and maintain next-generation capabilities in today's dynamic enviro...
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Articles
A Tale of Two Crises — Hurricane Preparedness in the Midst of COVID-19
The business continuity guidelines outlined in this article can be applied beyond oil and gas companies and to any organ...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2021 and 2030: Energy and Utilities Industry Group Results
This report illustrates the top risks energy and utilities organizations should keep in mind moving forward, based on th...
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Articles
Architecting Your Cloud Infrastructure for Failure (and Resilience)
This article notes five keys to architecting for failure that firms should consider to meet the evolving threat and regu...
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Audit Programs
Business Continuity Management Audit Work Program
This tool contains three sample work programs that provide general steps organizations can take when conducting a busine...
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Articles
Post-Pandemic Real Estate Strategies: It Pays to Be Nimble
This article offers several work-from-home strategies organizations can use to remain agile in a post-COVID world.
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Articles
Tech Can Help Oil and Gas Firms Survive Market Turmoil
Protiviti’s Tyler Chase and Justin Turner explain how technology benefits the energy industry and suggest key actions or...
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Benchmarking Reports
2020 Finance Trends Survey Report: Four Ways Finance Leaders Strengthen Cybersecurity
This report contains several leading practices for CFOs to consider, based on key points from Protiviti’s 2020 Global Fi...
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Articles
Persevering and Prospering in the Time of COVID-19: Accounts Payable
In this article, we share three examples of how Protiviti’s managed business services teams recently overcame significan...
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Articles
Top of Mind Compliance Issues for 2021 – The AML Act of 2020
This article summarizes many key provisions from the Anti-Money Laundering Act of 2020 that should be top of mind for ma...
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Articles
Beyond Supply Chain Stopgaps: How Strategic Sourcing Can Drive Resilience in Today’s Market
This article defines strategic sourcing and identifies six detailed steps management can take to maintain a resilient pr...
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Articles
Furlough Planning: An Art and a Science Supported by Technology and Sound Change Management
This article outlines the benefits of furlough planning and provides questions senior leaders should consider as they sh...
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Articles
Suspicious Activity Reporting: Government Aid Programs in the Spotlight
This article reviews the Small Business Administration’s Information Notice and offers proactive steps depository instit...
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Benchmarking Tools
Develop Public Relations Program Key Performance Indicators (KPIs)
This tool contains leading practices and key performance indicators companies should consider when creating their public...
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Articles
Healthcare Internal Audit During a Pandemic — Going From React to Rethink
This article offers several approaches healthcare internal audit functions can use as they adapt and extend their capabi...
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Articles
Automating Revenue — Healthcare Revenue Cycle Quick Wins Amid COVID-19
This article explores the benefits of automation and identifies opportunities healthcare organizations can use to improv...
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Articles
Effective Third-Party Risk Management During COVID-19 and Beyond
Protiviti Managing Directors Paul Kooney and Brian Kostek explain why companies should embrace innovative third-party ri...
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Articles
SPAC Popularity Continues to Grow
Audit Analytics examines 2020’s unprecedented rise in special purpose acquisition company (SPAC) initial public offering...
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Articles
Beyond Business Continuity Management: Building Resilience for Extreme but Plausible Events in a Post-COVID-19 World
Protiviti's Douglas Wilbert and Dugan Krwawicz discuss ways organizations can build resilience in a changing risk enviro...
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Articles
Getting to Resilient: Re-Imagining Crisis Management and Business Continuity Planning in a New Reality
This article provides an overview of operational resilience and identifies key concepts organizations should consider wh...
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Articles
Cloud Oversight in Financial Services: Understanding Responsibility and Control
This article explains how internal audit functions can provide ongoing assurance on their institutions’ use of cloud com...
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Articles
Persevering and Prospering in the Time of COVID-19: Keep Accounts Receivable Turning
This article offers several approaches finance leaders can use to manage the billing and collections issues they are fac...
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Articles
Harnessing Intelligent Automation to Increase Resilience
This article explains how intelligent process automation (IPA) can help companies manage costs and increase resilience f...
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Articles
Remediating Internal Control Weaknesses During a Pandemic
As 2020 ends and many public companies are preparing annual financial statements, Audit Analytics examines the companies...
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Articles
SOX Compliance Under COVID-19: The Show Must Go On (Part 2)
Part two of this two-part discussion addresses some of the questions asked during Protiviti’s recent webinar on maintain...
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Articles
CECL and the AICPA Practice Aid (Part 4): Modeling Considerations and COVID-19
Part 4 of our AICPA Practice Aid highlights the pandemic’s impact on loss models and provides key considerations finance...
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Articles
Data Privacy Isn’t Just One and Done: How to Stay on Top of Changes and Ensure Ongoing Compliance
Here, we provide an overview of recent data privacy regulations and explain steps organizations must take to operate an ...
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Benchmarking Reports
2020 Finance Trends Survey Report: Technology, Media and Telecommunications Industry Group Results
This report illustrates the top risks TMT organizations should keep in mind throughout 2021, according to the results of...
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Newsletters
10 ESG Reporting Questions Directors Should Consider
This issue of Board Perspectives: Risk Oversight poses 10 questions boards should focus on to ensure sustainable and res...
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Articles
Assessing Risk in Dynamic Times: Challenge Brings Opportunity to Internal Audit
This article summarizes what businesses and auditors need to plan for right now, as well as ‘‘next’’ and ‘‘eventually.’’
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Articles
For Financial Industry, Post-Pandemic Resilience Building Should Focus Equally on Operational Successes and Failures
This article offers key strategies finance firms must consider when returning employees to the workplace and identifies ...
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Articles
SOX Compliance Under COVID-19: The Show Must Go On (Part 1)
Part one of this two-part discussion uncovers the challenges of maintaining the full rigor of internal control requireme...
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Guides
Business Continuity Planning Guide
This tool features two sample guides that can be used for implementing and maintaining an organization’s business contin...
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Articles
Lessons Learned from COVID-19: A Discussion for Board Members
This article outlines the remaining questions from Protiviti’s webinar discussion about ways board members can adjust to...
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Newsletters
One Year Later: Does The Business Roundtable Statement Matter?
This issue of Board Perspectives recaps the Business Roundtable’s latest statement and suggests ways directors can overs...
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Newsletters
Setting the 2021 Audit Committee Agenda
In this issue of The Bulletin, Protiviti suggests eight 2021 audit committee agenda issues and offers questions for audi...
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Articles
Transparency, Empathy, Consistency, Frequency – Keys to Crisis Communications
This article recaps key takeaways from a Protiviti webinar discussion, focusing on best practices for communicating with...
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Performer Profiles
Campari Group: Serving Up a Potent Mix of Data Analytics and Process Mining
In this profile, Antonio Zuchetti, senior director of internal audit at Campari, summarizes how his team has addressed s...
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Articles
Process Analytics Provides Edge in Coping With Pandemic-Stricken Supply Chains
This article highlights key strategies and tactics companies should employ both now and in the future as they look towar...
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Articles
Re-Entry Considerations for Finance as Companies Begin to Re-Open
This article determines what measures the financial services industry must take to identify and operationalize process i...
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Benchmarking Reports
2020 Finance Trends Survey Report
Protiviti’s latest Global Finance Trends Survey Report highlights how CFOs are committed to ongoing finance transformati...
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Articles
Compliance Assurance During the Time of COVID-19 – And Beyond
This article uncovers the economic challenges the financial services industry is facing and identifies how finance firms...
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Articles
New SOX Survey: COVID-19 Environment Further Drives Need for Greater Automation and Technology Adoption for Compliance Processes
This article outlines some of the most significant results from Protiviti’s 2020 Sarbanes-Oxley Compliance Survey, which...
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Articles
A Recovery Pathway for Healthcare Organizations
In this article, we explore the global pandemic’s effect on the healthcare industry and outline five critical areas heal...
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Articles
PPP Loan Forgiveness, Part 2
Here, we provide a breakdown of two interim final rules on the Paycheck Protection Program (PPP) loan forgiveness requir...
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Articles
SOX Compliance: Consider COVID-19 Impact on Management Review Control Execution
This article outlines steps to consider as you prepare your control documentation along with some specific assumption co...
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Articles
COVID-19 Crisis Highlights the Value of Agile Auditing
Why Agile auditing will continue to be the best way forward for internal audit as organizations adjust to a post-COVID w...
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Newsletters
Going Digital: The Future Auditor in Action
This issue of The Bulletin offers a compendium of some of the best practices obtained from mining the respective journey...
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Articles
Mortgage Servicers Must Act Now to Implement Latest COVID-19 Payment Deferral
How mortgage servicers can ensure compliance with Fannie Mae and Freddie Mac’s COVID-19-specific payment deferral progra...
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Articles
Going Back to the Office: Determining Key Personnel Risk in a New Reality
This article explores the topic of key personnel risk and gives management several back-to-office factors to consider.
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Articles
Treasury Department Weighs in on Contentious BI Claims Dispute
This article explains what’s on the horizon for insurers reeling from the pandemic.
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Audit Reports
Business Continuity Management Audit Report
This tool contains two sample audit reports that can be used to assess an organization’s business continuity management ...
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Articles
Opportunities Abound in Pandemic Re-Emergence Planning
This article uncovers what opportunities are available to organizations looking for ways to re-emerge from the pandemic ...
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Articles
So You Had a Plan…Resetting the Technology Portfolio to Align With the Re-Emergence Strategy
This article describes the challenges of the new economy and offers steps the PMO should take to create a technology por...
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Articles
A Finance Labor Model Tailor-Made for Navigating Crises
This article details the challenges finance leaders have faced during COVID-19 and explains what makes a managed service...
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Articles
Managing and Mitigating Credit Risks and Losses Through the Crisis and Beyond
This article describes the impact of COVID-19 on the financial services industry and outlines steps lenders should take ...
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Articles
Paycheck Protection Program: A Good Idea Going Bad?
This article uncovers the issues with the PPP’s forgiveness requirements and provides lessons learned small businesses s...
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Articles
A Different Front in the COVID-19 Outbreak: Information Security
This article explores some of the IT factors that administrative and IT health care workers must stay focused on through...
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Articles
Leading Remote Teams in Times of Uncertainty
This article provides a checklist with leading practices and tips for organizations looking to develop more effective re...
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Articles
Operational Resilience: Measuring Impact Tolerance the FAIR Way
This article explains how the Factor Analysis of Information Risk (FAIR) methodology can help organizations determine wh...
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Protiviti Booklets
A Guide to Business Continuity Management – Top 15 Frequently Asked Questions (July 2020)
Organizations have many questions about business continuity management (BCM), and in response, Protiviti has developed t...
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Articles
Hackathon to Save Small Business
Learn what was discussed during an Alliance for Innovative Regulation (AIR) hackathon to save small business that Protiv...
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Articles
COVID-19 Impacts on Accounting, Reporting and Internal Controls
This article discusses key accounting and audit impacts and practices finance leaders should consider as they respond to...
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Articles
Moving Finance to the Cloud: What Finance Leaders Need to Know
This article summarizes the importance of cloud migration and provides insight finance leaders need to execute their mig...
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Articles
Working Together: Bank Regulators Encourage Flexibility and Offer the Same During COVID-19 Pandemic
This article explains what a joint statement recently issued by the regulatory agencies means for financial institutions...
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Articles
Regulators Support CARES Act Forbearance by Offering Flexibility to Mortgage Servicers
This article explains the required forbearance available to mortgage borrowers under the CARES Act and outlines the join...
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Articles
Risk Realities and Enterprise Risk Management in 2020
This article offers a list of questions that provides a bird’s-eye view of where your organization is in terms of ERM an...
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Audit Reports
Telephony Infrastructure VoIP Audit Report
This sample report can be used by auditors for measuring and enhancing an organization's Voice over Internet Protocol (V...
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Articles
A CISO Agenda for Addressing COVID-19 Challenges
This article outlines key questions and considerations chief information security officers (CISOs) should review as they...
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Articles
COVID-19 Impacts on European Audit Opinions
In this article, Audit Analytics examines the currents trends of European small- and large-cap filers that have been imp...
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Articles
Respond and Learn: COVID-19 Disruption Provides Opportunities to Improve Operational Resilience
This article provides some insight on the leading practices to help businesses respond, recover and reemerge from the CO...
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Newsletters
Is Your Board Digitally Savvy?
This issue of Board Perspectives focuses on why boards should possess the digital savviness needed to support the CEO’s ...
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Articles
The Federal Reserve Steps in to Help Small and Medium-Sized Businesses
This article outlines how the Federal Reserve assisted small and medium-sized businesses by making the paycheck protecti...
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Newsletters
Getting There Eventually: Finding Equilibrium in Uncertain Times Part 2 — Resilience is the North Star
This issue of The Bulletin is the second of a two-part discussion on the challenge of finding equilibrium amid the coron...
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Audit Programs
IT Continuity Review Audit Work Program
This sample audit program includes steps that can be used to audit an organization’s IT continuity process.
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Articles
Telehealth — The Game Has Changed
This article outlines why healthcare services professionals will continue to see telehealth as a viable option for provi...
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Newsletters
What Directors Should Be Asking Right Now
This issue of Board Perspectives: Risk Oversight poses 10 questions meriting consideration for most industries during th...
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Articles
Your Healthcare Organization’s Lifeline — A Business Continuity Plan
This article takes a closer look at how organizations can be fully prepared to weather the current COVID-19 pandemic, as...
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Articles
COVID-19 and SOX: Practical Considerations While Navigating the Crisis
This article discusses Sarbanes-Oxley (SOX) compliance matters related to the COVID-19 pandemic and identifies long-term...
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Newsletters
COVID-19: Paradigm Shift in the Boardroom
This issue of Board Perspectives discusses five megatrends directors should keep in mind that can impact an organization...
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Newsletters
Getting There Eventually: Finding Equilibrium in Uncertain Times Part 1 — Build on Your Strengths
This issue of The Bulletin is the first of a two-part discussion on the challenge of finding equilibrium after unprecede...
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Articles
The COVID-19 Effect on IPOs: Pre-Public Firms Press ‘‘Pause’’ for Now, but IPO Readiness Must Continue
This article explains the current pace of companies' initial public offerings from COVID-19 and outlines measures organi...
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Articles
Cybersecurity Should Be a High Priority for Media Companies Making Crisis Management Plans
This article highlights the scope of media companies’ past cybersecurity efforts and identifies a four-step action plan ...
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Articles
FEMA Funding $$$$ Beginning With the End in Mind: COVID-19 Efforts
This article explains the Federal Emergency Management Agency’s (FEMA) funding process and outlines key considerations h...
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Articles
Impacts of COVID-19 on Late Filings
In this article, Audit Analytics analyzes the number of annual late filings for accelerated and large accelerated filers...
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Articles
Automation — Healthcare’s Next Great Workforce
This article outlines several changes for healthcare organizations to incorporate and identifies key areas that serve as...
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Articles
Class Action Lawsuits and Regulatory Litigation Related to COVID-19
In this article, Audit Analytics analyzes class action security lawsuits that were filed against companies due to circum...
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Articles
Remote Workforce Challenges — Managing Employee Productivity
This article discusses agile methodology practices to track time and provides helpful tips for structuring a workday and...
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Articles
An Intelligent Workplace Can Help Finance Leaders Navigate the COVID-19 Turbulence and Future Disruptions
This article shares the top five 2020 financial services industry risks and describes what methods finance leaders need ...
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Articles
COVID-19 Affects Transaction Agreement for L Brands, Inc.
In this article, Audit Analytics examines the effects of COVID-19 on retailer L Brands, Inc. (known for its stores Victo...
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Articles
The CARES Act: Understanding Expectations for Healthcare Providers
This article articulates why the CARES Act, signed into law on March 27, 2020, clearly amplifies that healthcare is ‘‘to...
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Articles
COVID-19 Crisis Exposes Flaws in Master Data Sets
This article provides some insight on cloud data management challenges and suggests questions companies should consider ...
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Articles
Insurers Targeted in UK Supervisory Authorities’ Latest Effort to Develop Formal Operational Resilience Regulations
This article provides some insight on what makes global insurers the latest regulatory effort to strengthen the operatio...
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Policies & Procedures
Disaster Recovery Team Policy
This policy provides guidelines and standards an organization can follow when reviewing and improving its disaster recov...
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Audit Programs
VoIP Audit Work Program
This sample audit program provides general steps organizations can use to perform an audit of an organization's voice ov...
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Articles
The Implications of COVID-19 on Power and Utility Services
This article outlines what considerations utility organizations should be weighing to adapt and develop the aptitude to ...
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Articles
Utilizing Technology to Streamline Documentation, Coding and Billing Requirements of COVID-19 Cases
This article explores the new ICD-10-CM code expedited by the Centers for Disease Control and Prevention (CDC) due to th...
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Articles
In Latest Operational Resilience Proposals for UK Institutions, Regulators Outline Expectations for Outsourcing Arrangements and Third-Party Risk Management
This article outlines the Prudential Regulation Authority’s (PRA) significant proposal, which provide the strongest indi...
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Audit Reports
IT Internal Audit Report
This sample audit report includes steps auditors can use for conducting an information technology (IT) audit.
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Articles
Section 1135 Waivers: “Patients Over Paperwork” Does Not Mean NO Paperwork
This article summarizes the "Patients Over Paperwork" initiative and identifies six key actions that can be taken to hel...
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Articles
After the Virus: Reassessing and Future-Proofing Your Business From a Customer Experience Perspective
This article describes a plan for enhancing customer-focused strategies and identifies six key actions companies can tak...
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Audit Programs
IT General Controls Audit Work Program
This tool contains three sample work programs that provide general steps an organization should consider when evaluating...
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Articles
SOX Risk Assessment in the Time of COVID-19
This article discusses six key considerations a company should take when performing its Sarbanes-Oxley (SOX) risk assess...
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Articles
SOC Reports: Anticipating Challenges Can Help Minimize Disruption of SOX Compliance Programs
This article outlines a list of practical steps that companies can take to get ahead of the delay in SOC reports from se...
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Newsletters
COVID-19’s Workplace Disruption: A Test of Board Resiliency
This issue of Board Perspectives: Risk Oversight provides 10 suggestions for board members to consider as CEOs and organ...
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Newsletters
Operational Resiliency and the Role of the Board
This issue of Board Perspectives covers some of the important points and key takeaways discussed during Protiviti’s meet...
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Articles
FFIEC’s Updated BCM Booklet Highlights Operational Resilience Concepts
This article looks at the significant changes made to the FFIEC’s updated business continuity management booklet and pro...
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Newsletters
Board Oversight of an AI-Transforming Workplace
This issue of Board Perspectives highlights some of the important points and key takeaways outlined during Protiviti’s m...
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Newsletters
Revamping Risk Culture in the Digital Age
This issue of Board Perspectives: Risk Oversight focuses on why organizations might have to undertake more risk than the...
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Articles
With a Change in the Credit Cycle, a Rise in Special Assets Is Likely: Is Your Institution Prepared?
This article outlines some communication techniques organizations can use to reduce the total number of hours spent on S...
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Methodologies & Models
Business Continuity Management Methodology
This tool highlights seven phases of the business continuity management methodology, describing its benefits and the Pro...
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Newsletters
Responsible Privacy: Is the Board Doing Its Part?
This issue of Board Perspectives: Risk Oversight discusses some of the important points covered during Protiviti’s meeti...
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Articles
The U.S.-China Trade War: What It Means for Manufacturers
This article summarizes the potential effect of the U.S.-China trade war and suggests ways to mitigate disruption for U....
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Articles
Five Reasons for Conduct Risk Failures — With One Shared Cause
In this white paper, we analyze the root causes of conduct risk failures, focusing on five specific but interconnected a...
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Articles
Who Is Watching the Bots? Part Two: Operational Challenges and Solutions
Part two of our RPA discussion addresses several operational challenges related to security, change management and busin...
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Checklists & Questionnaires
IT Application Security Questionnaire
This sample questionnaire is designed to monitor and enhance an organization's IT application security process.
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Newsletters
Is Your Board Focused on the Right Risks?
This issue of Board Perspectives: Risk Oversight highlights the key points defining our road map for strengthening the b...
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Articles
Your Firm Is Growing: Condolences About That Chaos in Finance
This article offers advice for managing the sharp acceleration in finance and accounting workload that inevitably comes ...
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Articles
Pursuing Next-Gen Business Opportunities With Better Data Governance
This article provides an overview of data governance as an essential business exercise, presents some strategic opportun...
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Articles
Finance Transformation: Change Management and Overcoming Resistance
Protiviti’s Ken Thomas and Kathie Topel explain how organizations can leverage effective people management during any tr...
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Articles
Emerging Technology Companies: Create Your Game Plan Now for Going Public
This article suggests a few questions that emerging technology companies may want to weigh as they formulate their game ...
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Articles
Getting Operational Resilience Right
This article outlines six key actions firms should be taking to support and evolve their approach to operational resilie...
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Articles
Back Off, Inefficiencies: Conquering Chaos in the Back Office Is Closer Than You Think
This article explains how a hard-working team of internal resources and external partners can apply their respective exp...
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Articles
Legacy Core Systems Outlook: Advancing Technologies Are Hastening the Necessity to Modernize
This article summarizes key points from Protiviti’s recent white paper on the disruptive influence that the cloud and AP...
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Audit Reports
ISO 27001 Information Security Assessment Report
This audit report focuses on a project baselining an organization’s information security practices, with the purpose of ...
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Checklists & Questionnaires
Global Compliance Questionnaire
This questionnaire can serve as the starting point for assessing an organization's compliance in a variety of areas, inc...
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Articles
Pecans in Peril: A Supply Chain Lesson From Hurricane Michael
In this article, Protiviti Managing Director Bernie Donachie discusses the supply chain effects of Hurricane Michael, a ...
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Newsletters
Sharpening the Focus on Cybersecurity
This issue of Board Perspectives: Risk Oversight takes a fresh look at the often-discussed topic of cybersecurity, offer...
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Articles
Trends in Tech: What Emerging Technology Firms Must Keep an Eye On
This article takes a look at three emerging tech trends that were hot topics for discussion at the 2018 TechCrunch Disru...
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Articles
Success Factor: The People Side of Digital Transformation
Everybody knows that organizations are primarily made of people. Yet too often, the people side of digital transformatio...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Manufacturing and Distribution Industry Group Results
The results of Protiviti’s latest Executive Perspectives on Top Risks Survey suggest that manufacturing and distribution...
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Articles
Is Your Company Approaching Digital Transformation in the Right Way?
Protiviti Digital Leader Jonathan Wyatt explains the difference between a true transformation and what he calls a ‘‘digi...
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Newsletters
Oversight of Digital Transformation
Protiviti met in August 2018 with 20 active directors during a dinner roundtable at a NACD event to discuss the board’s ...
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Audit Reports
Business Continuity/Disaster Recovery Program Assessment Report
This audit report sample focuses on whether an appropriate enterprise-wide governance structure is in place to manage th...
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Articles
Modernizing Legacy Systems at Financial Institutions
This paper serves as a good case study for how financial institutions can modernize the legacy systems at the core of th...
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Articles
On the Road to Digital Transformation, One Map Does Not Fit All
It seems that everywhere one looks today, yet another organization is going through a digital transformation. In this ar...
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Articles
Time for Technology Companies to Commit to Women in Leadership Roles
A recent study found that companies with a 30 percent female executive team can realize as many as six percentage points...
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Checklists & Questionnaires
Information Technology (IT) General Controls Questionnaire
This tool provides questions to consider when assessing a company’s information technology (IT) controls.
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Guides
Business Impact Analysis Facilitation Guide
This presentation describes a particular methodology for conducting a business impact analysis (BIA). The BIA is the car...
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Checklists & Questionnaires
General Threat Questionnaire
This sample checklist can be used for risk assessment to identify failure scenarios and the likelihood and severity of d...
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Articles
Making Fintech Fit — Banks Weigh Risks, Rewards of Fintech
Forward-thinking banks are acquiring and partnering with fintech firms to survive and thrive in an increasingly tech-ena...
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Articles
A Rose by Any Other Name…Is Still a Rose
In this article, Protiviti Managing Director Scott Wisniewski discusses why you shouldn't forget about governance entire...
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Audit Reports
Business Continuity Software Research Report
This report assesses various business continuity software solution providers in the global market with the purpose of en...
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Checklists & Questionnaires
Internal Security Questionnaire
This tool provides questions for audit committees to consider when assessing internal security risks.
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Articles
Is Servitization Manufacturing’s Future? For Many, the Answer Is Yes.
Servitization, like digitalization (to which it is often related), is a unique and complex journey for any company. In t...
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Checklists & Questionnaires
IT Disaster Recovery Plan Assessment Checklist
Eye-opening disaster recovery plan checklist items and questions for you to consider.
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Articles
Digital to the Core: Companies Must Have the Right People and Mindset to Succeed at Digital Transformation
Without the right leadership and mindset, companies risk becoming digital only on the surface. Over the next few years, ...
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Articles
Digital Innovation: From Boardroom to Execution
For digitalization in today’s environment, companies need to ensure an agile, actively managed and risk-aware approach a...
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Checklists & Questionnaires
Information Technology (IT) Infrastructure Questionnaire
This tool helps auditors gather information related to information technology infrastructure, which helps with understan...
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Checklists & Questionnaires
General IT Controls Review: Disaster Recovery Questionnaire
This tool provides best practice questions to consider for a company’s disaster recovery plan.
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Newsletters
Sustaining an Innovation Culture in the Digital Age
Digital transformation is disrupting entrenched incumbents and even whole industries. This issue of Board Perspectives: ...
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Newsletters
Board Oversight of Performance Management
Performance management is the process by which performance toward targeted goals is measured and monitored. Performance ...
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Newsletters
The Top Global Risks for 2018
This issue of Board Perspectives: Risk Oversight provides a context for understanding the most critical uncertainties co...
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Policies & Procedures
Emergency Policies and Procedures Manual
This is a sample of emergency policies and procedures for a business office. It includes procedures for safety teams, fi...
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Newsletters
Preparing the Organization for an Economic Downturn
In this issue of Board Perspectives, we discuss how to create a contingency plan that will (a) mitigate the financial im...
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Policies & Procedures
Business Continuity Process Ownership Policy
This sample establishes policies and procedures for business continuity process ownership.
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Checklists & Questionnaires
Inventory Management – Internal Control Evaluation Questionnaire
This questionnaire evaluates internal controls for the inventory management processes focusing on analytical procedures.
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Policies & Procedures
Business Continuity Plan Exercise and Testing Policy
This policy outlines business continuity plan testing guidelines.
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Policies & Procedures
Business Impact Analysis Policy
This sample policy outlines procedures to identify a company’s most critical business processes and support functions an...
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Policies & Procedures
Crisis Management and Emergency Operations Policy
This sample policy provides an overview of procedures organizations should take during the crisis management and emergen...
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Audit Programs
Database Administration Audit Work Program
This audit work program provides steps for a database administration review.
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Audit Programs
System Backup Review Audit Work Program
The purpose of this audit program is to review an organization’s system backup procedures.
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Risk & Control Matrices - RCMs
Business Continuity Management RCM
This document outlines risks and controls common to the "business continuity management" process in a risk control matri...
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Policies & Procedures
Firearms, Weapons and Explosives Policy
This policy outlines a set of procedures for firearms, weapons and explosives in order to maintain a safe working enviro...
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Audit Programs
Physical Security Audit Work Program
This 45-page work program outlines physical security best practices for data centers and information processing/storage ...
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Guides
Hotel Site Audit Training Material Guide
This guide illustrates how to conduct a hotel site audit.
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Newsletters
To Manage Disruption, Understand Strategic Assumptions
In this issue of Board Perspectives: Risk Oversight, we discuss why management should identify and consider the key assu...
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Newsletters
Intersecting Risk Management and Crisis Management
This issue of Board Perspectives: Risk Oversight stresses the importance of being prepared early for a potential crisis,...
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Checklists & Questionnaires
Business Continuity Management Self-Assessment Questionnaire
This a self-assessment tool to use prior to a review of the business continuity management process. It gives the auditee...
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Newsletters
Integrating Risk with Managing Operations
In this issue of Board Perspectives: Risk Oversight, we discuss key considerations when evaluating operational risks.
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Policies & Procedures
Business Continuity Management Policy
This sample outlines a set of policies and procedures for formalizing a business continuity program, and provides guidel...
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Newsletters
Knowing What You Don’t Know
This issue of Board Perspectives: Risk Oversight suggests eight steps executives and directors can take to manage uncert...
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Blog
A Compliance Perspective to Risk Assessment
Making Your Risk Assessments Count: A Compliance Perspective to Risk Assessment
The traditional approach f...
Blog
Best Practices for Developing Strong Public Relations
Are you using strong strategic communication processes that build great relationships between your organiza...
Blog
Business Continuity Programs: Important Information on How to Perform Audits You Need to Know
Ensuring that an organization can recover from disaster is a basic business requirement the board should e...
Blog
How to Mitigate Risks Using Effective Business Continuity Planning
Thorough business continuity plans help organizations minimize the risks of a disaster and restore vital b...
Blog
How to Successfully Optimize Your BCM Program
Business continuity management (BCM) is the development of strategies, plans and actions that provide prote...
Blog
Natural Disasters: How to Efficiently Leverage Lessons Learned
Perhaps no disaster in recent history has done more to show the need for strong business continuity and di...
Blog
What is the Internet of Things?
The internet of things (IoT) is an environment in which “things” – objects, animals or people – are given u...
Blog
What You Need to Integrate Risk in Your Business Planning Process
While strategy-setting defines an enterprise’s overall strategic direction, differentiating capabilities a...